Some of Our Past Events - And their Key-takeaways
October 22, 2020
Annual SRIAA Forum: Economic & Geo- Political Outlook
Anastassios Frangulidis, Pictet
Economic and Geo-Political Outlook, in consideration of the impending US presidential election, with keynote presentations.
September 16, 2020
Annual Compliance Training: Certified compliance training for SRIAA members
Jake Brown - Wuersch & Gering LLP
The annual compliance training is organized by SRIAA, under the guidance of and provided by Jake Brown from Wuersch & Gering LLP. Certification letters provided to confirmed attendees.
To ensure that the event will take place despite possible future restrictions due to COVID-19, we've decided to hold this year's Compliance Training in the form of a webinar. The link to join the online Training will be sent out to all registered attendees before the event. For Non-Members we've reduced the attendance fee from 750.- to 375.-
February 18, 2020
Luncheon: SEC Registrations on Hold - Now What?!
Florian Jörg - Bartschi Ltd. & Gregory Walsh - Baker McKenzie
What's going on? Are there any risks for existing Swiss RIAs? And, what can we do as SRIAA to ameliorate the situation?
November 06, 2018
The 50 Shades of Investing
Philip Rauh - responsAbility
Many investors nowadays do not put their focus only on financial return but also on making a social impact with their investments. But what really is impact investing? Philip Rauh answers this and many more questions about this increasingly important topic.
June 04, 2018
Annual SRIAA Compliance Training
Dustin Milne - Milne Legal
Dustin Milne (http://milnelegal.com) has agreed to hold this Compliance Training for SRIAA Members. The training is qualified as the annual training that your staff needs to conduct, and it will be validated by SRIAA accordingly.
May 07, 2017
Securities and Exchange Commission Audit Update
Kristin E. Rice-Gonzalez - Baker & McKenzie
The presentation by Ms. Kristin E. Rice-Gonzalez, Baker & McKenzie LLP, will deliver a critical update to some of the latest developments in regards to SEC regulations and will also refresh some of the topics discussed at last year’s excellent and well-received presentation.
April 10, 2017
Update on Current Tax Law Developments
Matthew Cullen - Sharp Partners
Presentation in regards to the current tax law developments, particularly for U.S. investors by Matthew Cullen, Sharp Partners P.A. Sharp Partners has been advising both domestic and foreign clients on international taxation matters for over 25 years with clients ranging from public companies, to individuals and families.
January 25, 2017
For the start of 2017, we would like to invite our members to express their expectations and suggestions for this year's program of SRIAA. We are looking forward to great discussions.
December 18, 2016
Our traditional Christmas Apéro will be held at "Hellberg Restaurant" from 6.00 to 8.00 pm on Monday, December 19th 2016. This is a great opportunity to review the year 2016 and to have an exchange on the relevant topics before the holiday season starts.
November 02, 2016
Digital Transformation - Understanding Disruption from the Incumbent Perspective
Dr. Ernst Dieter Berninghaus
Dr. Ernst Dieter Berninghaus provides highly valuable insights on how digital transformation has changed the entire commerce industry. Taking this example he draws parallels to what happens in the wealth management space.
September 07, 2016
Economic Crossroads Ahead - Assessing the Global Implications of "Big Debt" and "Cheap Money"
Felix W. Zulauf - Zulauf Asset Management
In 1990, Mr. Zulauf founded Zulauf Asset Management AG, a Swiss-based asset management company. He sold the majority of the firm and spun off a Family Office in 2009. Furthermore, he has been serving as a member of the Barron's Roundtable since 1986.
July 13, 2016
Summer Get Together
A platform for its members to review the first half of 2016, discuss current developments and exchange on what is still to come in 2016.
February 29, 2016
The Evolving Role of an Adviser’s Chief Compliance Officer
Kristin E. Rice-Gonzalez - Baker & McKenzie
The U.S. Securities and Exchange Commission views an investment adviser’s chief compliance officer as an important and crucial role in fostering integrity in the securities industry. This discussion will outline the CCO’s role and responsibilities, discuss the level of support the SEC expects to see from management, investigate CCO liability in light of recent actions, and discuss compliance testing and the annual report to management.
January 20, 2016
Conquering the US market
Fernand Schoppig - FS Associates
In order to successfully acquire and service US clients as a Swiss SEC registered investment advisor it is essential to understand the US asset and wealth management market: Who are potential clients? What are their needs? How should I market my services? What are the advantages and disadvantages of offering my services out of Switzerland? Who is my competitor in the US? What is an appropriate pricing? Which do need to keep in mind when choosing a custodian? Fernand Schoppig will give us an overview of the US wealth management structure, its opportunities and caveats.
November 18, 2015
Enforcement Trends in the SEC
Robert W. Henoch - Kobre & Kim
Currently, the SEC focuses on examining investment advisors. This academy will address what types of behavior the SEC is attentive to, how it investigates and prosecutes matters involving investment advisors, and what steps you can take regarding possible enforcement or regulatory actions.
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